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KYLE G CUNNINGHAM
CRD#: 5681204
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1818 MARKET ST STE 3400
PHILADELPHIA, PA 19103
PHILADELPHIA, PA 19103
View By:
8/12/2020
Customer Dispute
Settled
State Registrations
B
California 12/8/2021
B
New Jersey 6/22/2011
B
Delaware 10/14/2015
B
Pennsylvania 9/7/2010
B
Florida 9/15/2023
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Pennsylvania 5/14/2013
B
Maryland 7/15/2021
B
Virginia 7/5/2023
B
Massachusetts 2/8/2022
SRO Registrations
B
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IA
Registered with this firm since 5/14/2013
B
Registered with this firm since 8/13/2010
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.